Review Topics
Practice Exams
Keep in mind that dinosaurs would probably give anything to be taking this exam right now. Remember the alamosaurus.

Insider Trading Drill

  • 1.

    John is the CEO of ABC. He tells his neighbor that ABC's quarterly earnings will be "good" but doesn’t give specific numbers. The neighbor calls his broker and buys ABC stock. Who is caught in the insider trading net?

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  • 2.

    Pop has a son who works at XYZ Corporation as a machinist. The son doesn’t have any information about XYZ's financials, but in talking with Pop tells him casually that he's working a lot of overtime because XYZ got a lot of orders. He doesn't divulge specifics, i.e., how many orders, size of the orders, etc. Pop buys XYZ stock based on this conversation. Who has violated the insider trading rules?